About YL Capital
YL Capital is an independent asset manager built around a simple philosophy: research deeply, manage risk first, and invest with a long-term perspective.
We are a research-driven investment management firm focused on helping individual, family, and institutional investors build and preserve capital across market cycles. Our approach emphasizes disciplined decision-making, rigorous risk management, and long-term wealth creation rather than short-term market predictions.
YL Capital is registered in British Columbia as a Portfolio Manager, Investment Fund Manager, and Exempt Market Dealer.
The Opportunity
We are seeking an experienced, entrepreneurial, and highly motivated Dealing Representative to join YL Capital’s Exempt Market Dealer division.
The successful candidate will be responsible for developing and maintaining meaningful relationships with qualified investors and introducing eligible clients to exempt-market investment opportunities offered through the firm.
This is an entrepreneurial, performance-driven role for someone who is self-directed, commercially minded, and comfortable building a business through their professional network, referrals, prospecting, and strategic relationship development.
The Dealing Representative will manage and grow an investor portfolio while providing a high standard of client service and operating in accordance with applicable securities laws, regulatory requirements, and YL Capital’s compliance policies and procedures.
The ideal candidate is sales-driven, self-motivated, dependable, and results-oriented, with a strong work ethic and a genuine passion for networking and relationship building.
Key Responsibilities
Investor Relationship Management
- Build, develop, and maintain long-term relationships with prospective and existing investors.
- Manage an established client portfolio while actively identifying opportunities for sustainable growth.
- Maintain regular and meaningful communication with clients and prospects regarding relevant market developments and investment opportunities.
- Deliver professional presentations and educational discussions regarding YL Capital and its available investment products.
Business Development and Growth
- Develop and execute a personal business development and sales strategy to meet or exceed annual fundraising and business development objectives.
- Build and maintain a strong pipeline of prospective investors through networking, referrals, professional relationships, seminars, events, and other approved business development activities.
- Expand YL Capital’s investor base while strengthening relationships with existing clients.
- Organize and participate in investor events, presentations, meetings, telephone outreach, and other approved marketing initiatives.
- Maintain accurate and timely records of client interactions, prospecting activities, and sales opportunities within the firm’s CRM and other approved systems.
Client Onboarding and Investment Process
- Develop and maintain a thorough understanding of YL Capital’s investment products, including their structure, objectives, features, risks, fees, and applicable offering documents.
- Guide eligible investors through the firm’s client onboarding and investment subscription process.
- Gather and maintain the information required to understand each client’s financial circumstances, investment objectives, risk profile, investment knowledge, and other relevant information in accordance with applicable regulatory requirements and firm policies.
- Work with clients and internal teams to ensure subscription documentation is complete, accurate, and submitted in a timely manner.
- Communicate investment opportunities clearly and professionally while ensuring clients receive appropriate information regarding relevant risks and considerations.
Compliance and Professional Standards
- Conduct all activities in accordance with applicable Canadian securities laws, regulatory requirements, and YL Capital’s policies and procedures.
- Follow all applicable firm procedures relating to client onboarding, product knowledge, know-your-client requirements, conflicts of interest, suitability, and documentation.
- Maintain the knowledge and proficiency necessary to competently perform the responsibilities of a registered Dealing Representative.
- Participate in required compliance training and maintain all applicable registrations and regulatory requirements.
- Maintain the highest standards of integrity, professionalism, confidentiality, and client service.
Qualifications
Required
- A strong entrepreneurial mindset with the ability to independently build and manage a client base through professional networks, prospecting, referrals, seminars, and other relationship-building activities.
- A minimum of two years of relevant experience in sales, business development, financial services, investment management, or a related industry.
- Demonstrated success in business development, relationship management, and client acquisition.
- Strong interpersonal, communication, networking, and presentation skills.
- Highly self-motivated, dependable, results-oriented, and accountable for achieving established targets.
- Fluency in English; proficiency in another language is considered an asset.
- Eligibility to meet the applicable proficiency and registration requirements for a Dealing Representative of an Exempt Market Dealer in Canada.
- Successful completion of the Canadian Securities Course (CSC) or Exempt Market Products Exam, or another applicable regulatory proficiency pathway, subject to the firm’s registration requirements and applicable regulatory approval.
Preferred
- An established network of centres of influence (COIs), high-net-worth individuals, accredited investors, or other relevant professional relationships, and/or an established client base, would be considered a strong asset.
- Experience working with exempt-market products, private investments, alternative investments, investment funds, or capital raising.
- Familiarity with Canadian securities regulations and the regulatory framework applicable to Exempt Market Dealers.
- A degree or diploma in finance, business, sales, economics, or a related discipline.
- Professional designations such as CFA, CAIA, CIM, or FRM are considered assets.
Compensation
This is a commission-based position with no base salary. Compensation will be based on business generated and structured in accordance with the firm’s compensation policies and applicable regulatory requirements.
Why Join YL Capital?
This is an opportunity for an entrepreneurial investment professional to build a long-term career with an independent, research-driven investment management firm.
The successful candidate will have the opportunity to:
- Develop meaningful, long-term relationships with sophisticated investors.
- Contribute directly to the growth of the firm.
- Build and expand an entrepreneurial investment practice.
- Work with a research-driven investment management platform focused on disciplined decision-making and long-term wealth creation.
- Participate in building long-term value for clients and the firm.
Ready to Take the Next Step?
If you are an entrepreneurial, relationship-driven investment professional looking to build and grow your business in the exempt market, we would like to hear from you.
Please submit your resume and application when applying.
All inquiries and applications will be kept confidential. Only candidates selected for an interview will be contacted.
